{"url":"https://nivawealth.com/firms/schroder-investment-management-north-america-105820","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/105820","regulatoryAum":150396703621,"crd":"105820","secFileNumber":"801-15834","legalName":"Schroder Investment Management North America Inc","displayName":"Schroder Investment Management North America","website":null,"linkedinUrl":"https://www.linkedin.com/company/5494/","founded":null,"organization":"Delaware corporation","fiscalYearEnd":"December","headquarters":{"street":"7 Bryant Park, 19th Floor","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10018"},"tradeNames":[],"registration":{"secApproved":"31 December 1980","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":254,"advisory":110,"brokerDealerReps":64,"insuranceAgents":0,"promoters":1},"aum":{"discretionary":148944630925,"discretionaryAccounts":422,"nonDiscretionary":1452072696,"nonDiscretionaryAccounts":4,"wrapProgram":null,"nonUsClientsPct":45,"nonAumClients":4},"clientTypes":[{"label":"High-net-worth individuals","clients":31,"regulatoryAum":714762603},{"label":"Investment companies","clients":183,"regulatoryAum":95395192464},{"label":"Pooled investment vehicles","clients":47,"regulatoryAum":14638775544},{"label":"Pension and profit-sharing plans","clients":52,"regulatoryAum":11204427663},{"label":"Charitable organizations","clients":10,"regulatoryAum":928333236},{"label":"State or municipal government entities","clients":33,"regulatoryAum":14608144518},{"label":"Other investment advisers","clients":8,"regulatoryAum":1831105061},{"label":"Insurance companies","clients":42,"regulatoryAum":7013092064},{"label":"Sovereign wealth funds and foreign official institutions","clients":10,"regulatoryAum":1968298314},{"label":"Corporations and other businesses","clients":10,"regulatoryAum":2094572154}],"fees":[],"feeNotes":[],"custodians":[{"name":"The Bank of New York Mellon","shortName":"The Bank of New York Mellon","location":"New York, NY","smaAssets":7102156764},{"name":"The Northern Trust Company","shortName":"The Northern Trust","location":"Chicago, IL","smaAssets":8173203934},{"name":"State Street Bank & Trust Company","shortName":"State Street Bank & Trust","location":"Boston, MA","smaAssets":12669788121}],"custodyNote":"Schroder Investment Management North America has custody of $147.4M for 1 clients.","otherCustodians":[],"leadership":[{"name":"Thomas Darnowski","title":"Chief Executive Officer, Chair and Director","crd":"5609038"},{"name":"Shanak Patnaik","title":"Chief Compliance Officer","crd":"6184296"},{"name":"Ryan Chelf","title":"General Counsel, Americas","crd":"7895909"},{"name":"Lisa Hornby","title":"Director","crd":"5172672"},{"name":"Madiha Maqsood","title":"Director","crd":"8246067"},{"name":"Scott McKay","title":"Director","crd":"8035325"}],"ownership":[{"label":"Schroder US Holdings Inc.","detail":"Shareholder in the 75% or more ownership band and a control person, since June 1999."},{"label":"Schroder International Holdings Limited","detail":"Indirect owner: a shareholder of Schroder US Holdings Inc. in the 75% or more band and a control person, since December 1980.","parent":"Schroder US Holdings Inc."},{"label":"Schroder Administration Limited","detail":"Indirect owner: a shareholder of Schroder International Holdings LTD. in the 75% or more band and a control person, since June 2004.","parent":"Schroder International Holdings LTD."},{"label":"Schroders PLC","detail":"Indirect owner: a shareholder of Schroder Administration Limited in the 75% or more band and a control person, since June 2004.","parent":"Schroder Administration Limited"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":3,"privateResidences":1},"listedOfficeAddresses":3,"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"623246 36th Ave SW","city":"Newport Beach"}]},{"state":"Florida","offices":1,"addresses":[{"street":"Regus Center, Suite 907","city":"Miami"}]},{"state":"New York","offices":1,"addresses":[{"street":"7 Bryant Park, 19th Floor","city":"New York","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-641-3800","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":41},{"label":"U.S. government/agency bonds","percent":9},{"label":"U.S. state and local bonds","percent":6},{"label":"Sovereign bonds","percent":3},{"label":"Investment grade corporate bonds","percent":15},{"label":"Non-investment grade corporate bonds","percent":2},{"label":"Derivatives","percent":9},{"label":"Securities issued by registered investment companies or business development companies","percent":2},{"label":"Cash and cash equivalents","percent":2},{"label":"Other","percent":11,"detail":"Securitized Assets"}],"privateFunds":17},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/105820/PDF/105820.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Schroder Investment Management North America have?","answer":"Schroder Investment Management North America has 426 clients and manages $150.4 billion for them, as of March 2026. They include 183 investment companies, 52 pension and profit-sharing plans and 47 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Schroder Investment Management North America offer?","answer":"Schroder Investment Management North America provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Schroder Investment Management North America use?","answer":"Schroder Investment Management North America’s separately managed account assets are held at State Street Bank & Trust Company (Boston, MA), with $12,669,788,121, The Northern Trust Company (Chicago, IL), with $8,173,203,934 and The Bank of New York Mellon (New York, NY), with $7,102,156,764. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Schroder Investment Management North America have?","answer":"Schroder Investment Management North America has 0 investment adviser representatives registered with state securities authorities, out of 254 employees, and 110 perform investment advisory functions. 64 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Schroder Investment Management North America invest in?","answer":"At the end of its last fiscal year, Schroder Investment Management North America’s separately managed accounts held 41% exchange-traded equities, 15% investment grade corporate bonds, 11% securitized assets, 9% U.S. government and agency bonds, 9% derivatives, 6% state and local bonds, 3% sovereign bonds, 2% high-yield corporate bonds, 2% registered funds (mutual funds, ETFs, BDCs) and 2% cash and equivalents. It advises 17 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Schroder Investment Management North America?","answer":"Schroder Investment Management North America is owned through holding companies by Schroder International Holdings Limited and Schroders PLC. Its direct owners are Schroder US Holdings Inc. (75% or more) and Schroder Administration Limited (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Schroder Investment Management North America get paid?","answer":"Schroder Investment Management North America is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}